Compliance Solutions for Investment Advisers

Compliance Support

USCC believes that every aspect of your compliance program should simply reflect how you conduct your advisory business. Our Compliance Support solutions provide four levels of support to help you find the right solution for your business needs.

 

Service

Silver

Gold

Platinum

Diamond

Consulting
Having access to the knowledge and expertise of experienced professionals can mean the difference between compliance and non-compliance. We can help your firm resolve even the most complicated compliance issues. Our consultants will be available to you on an as-needed basis.
5 hrs. 10 hrs. 20 hrs. 40 hrs.
Compliance Newsletters & Alerts
Staying on top of regulatory changes has become exceedingly difficult. Responding to them even more so. Our newsletters and compliance alerts go beyond simply reporting changes in the regulatory landscape – they will help your firm determine how to respond to such changes.
Access to Compliance Checklists
Documenting adherence to your policies and procedures is a vital part of any compliance program. Regulators want proof that all required actions have been taken. Our extensive library of compliance checklists are designed to facilitate the execution, documentation and review of your firm’s compliance program.
Registration Maintenance & Annual Renewal
All registered investment advisers must file an amendment to Form ADV on an annual basis. An adviser also has a continuing duty to make periodic updates in the event of material changes to their disclosure documents (Form ADV Parts 1 and 2). To help your firm satisfy these requirements, we will provide you with registration maintenance and annual renewal services, including:

– Acting as your firm’s liaison with the applicable regulatory authority

– Acting as your firm’s IARD Service Bureau

– Filing your firm’s annual updating amendment

– Filing amendments to Form ADV Part 2A and 2B

– Making all annual state filings (State-registered advisers)

– Filing any required “other-than-annual” amendments during the year

– Filing Form U-4/U-5 for investment adviser representatives

– Filing annual renewals for investment adviser representatives with appropriate state regulators

– Making all required state notice filings (SEC-registered advisers)

Ongoing Compliance Reminders
So much to do. So difficult to keep track of it all. To help you keep up, we will send your firm monthly reminders of key compliance activities.
Access to Compliance Forms
Advisory firms often lack the practice management tools to properly implement their compliance policies and procedures. Our self-help forms are designed to help your firm implement, monitor and evaluate its compliance program.
Chief Compliance Officer Training
We understand that in many firms, the chief compliance officer may not always have the requisite compliance experience. Even experienced chief compliance officers have new things to learn. Our compliance training will help your chief compliance officer better manage your firm’s compliance program.
Regulatory Exam Boot Camp
Whether registered with the SEC or one or more states, the time will come when your firm is subject to the rigors of a regulatory examination. The key to surviving an exam is through extensive preparation. Our half-day Boot Camp will help your firm prepare for the inevitable regulatory examination.
Annual Compliance Review
All SEC-registered advisers – and an increasing number of state-registered advisers – are required to conduct an annual review of their compliance policies and procedures. We will work with your chief compliance officer to undertake the required annual compliance review and prepare a report assessing the adequacy of your firm’s policies and procedures and the effectiveness of their implementation.
Disclosure Document Review
Regulators expect advisers to disclose exactly what they do, and to do exactly as they have disclosed. We will conduct an annual review of your firm’s disclosure documents to make sure that they accurately reflect all regulatory requirements and the present conduct of your advisory business.
Advisory Agreement Review
Discrepancies between client agreements and firm disclosures can be a source of regulatory exposure. Poorly drafted client agreements, however, can be a source of legal exposure. We will undertake a comprehensive review of your advisory agreements to make sure that they are drafted properly and consistent with disclosures and business practices.
Marketing Material Review
We will undertake a comprehensive review of your firm’s marketing and advertising material and provide you with written comments and revisions. If necessary, we will draft appropriate disclosures/disclaimers for your firm’s marketing material, including any web site, blog or social media site.
Service Provider Review
Advisers are required to review the privacy policies and information security programs of third-party service providers. Advisers must also review the business continuity plans of those providers deemed “mission critical.” We will analyze the privacy policies, information security programs and business continuity plans of your firm’s third-party service providers.
Compliance Program Remediation
Based on the results of your annual review, we will revise and update your firm’s compliance manual and code of ethics. If it is more beneficial to your firm, we will create new, fully-customized policies and procedures that are based on your firm’s advisory business and the “best practices” of the advisory profession.
Risk Assessment & Mitigation Analysis
Every adviser is required to identify compliance factors that may create risk exposure for their firm and its clients. We will conduct a risk assessment of your advisory business and provide you with a detailed summary that prioritizes risks by exposure, arming your chief compliance officer with the information needed to implement a remediation plan.
Compliance Program Testing & Analysis
The SEC requires advisers to test their policies and procedures to ensure that they are functioning effectively. A robust testing plan must include transactional, periodic and forensic tests. We will assess your transactional and periodic testing results and assist you in conducting forensic testing based on a compliance testing plan designed specifically for your firm.

$99 / month

$375 / month

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